SEBI Guidelines Compliance
Complaint Data & Grievance Redressal
Data maintained as per SEBI guidelines — Updated by 7th of every succeeding month
How to Lodge a Complaint or Query
Step 1 – Contact the IA Directly
In case of any complaint or query, you may approach:
Mr. Viresh P Patel
9920374756
Step 2 – Escalate to SEBI / ODR
If not satisfied, lodge your grievance with SEBI at:
SEBI SCORES Portal (scores.sebi.gov.in) Download SEBI SCORES Mobile App ODR Portal – SMARTODR (smartodr.in)Grievance Escalation Matrix
As per BSE directive issued on 9th December, 2024 – IAs must display grievance escalation matrix prominently on website.
| Designation | Contact Person | Address | Contact No. | Email ID | Working Hours |
|---|---|---|---|---|---|
| Customer Care / Principal Officer / Compliance Officer / CEO | Mr. Viresh P Patel | Flat No 3, Borivali Sonmarg CHS Ltd, Nr W E Highway, Kasturba Road, Borivali East, Mumbai – 400066 | 9920374756 | ia.planner@vireshpatel.com | Mon–Sat, 10 AM – 6 PM |
SEBI Regional/Local Office:
Plot No. C 4-A, G Block, Near Bank of India, Bandra Kurla Complex, Bandra East, Mumbai, Maharashtra – 400051
Plot No. C 4-A, G Block, Near Bank of India, Bandra Kurla Complex, Bandra East, Mumbai, Maharashtra – 400051
Data for the Month Ending October, 2025
Updated Monthly: Data maintained as per SEBI guidelines. Published by 7th of succeeding month.
| Sr. No. | Received from | Pending at end of last month | Received | Resolved* | Total Pending # | Pending complaints >3 months | Average Resolution time^ (in days) |
|---|---|---|---|---|---|---|---|
| 1 | Directly from Investors | 0 | 0 | 0 | 0 | 0 | 0 |
| 2 | SEBI (SCORES) | 0 | 0 | 0 | 0 | 0 | 0 |
| 3 | Other Sources (if any) | 0 | 0 | 0 | 0 | 0 | 0 |
| Grand Total | 0 | 0 | 0 | 0 | 0 | 0 | |
* Inclusive of complaints of previous months resolved in the current month.
# Inclusive of complaints pending as on the last day of the month.
^ Average Resolution time is the sum total of time taken to resolve each complaint, in days, in the current month divided by total number of complaints resolved in the current month.
# Inclusive of complaints pending as on the last day of the month.
^ Average Resolution time is the sum total of time taken to resolve each complaint, in days, in the current month divided by total number of complaints resolved in the current month.
Trend of Monthly Disposal of Complaints (FY 2025–26)
| Sr. No. | Month | Carried forward from previous month | Received | Resolved* | Pending # |
|---|---|---|---|---|---|
| 1 | April, 2025 | NA | NA | NA | NA |
| 2 | May, 2025 | NA | NA | NA | NA |
| 3 | June, 2025 | NA | NA | NA | NA |
| 4 | July, 2025 | NA | NA | NA | NA |
| 5 | August, 2025 | NA | NA | NA | NA |
| 6 | September, 2025 | 0 | 0 | 0 | 0 |
| 7 | October, 2025 | 0 | 0 | 0 | 0 |
| 8 | November, 2025 | NA | NA | NA | NA |
| 9 | December, 2025 | NA | NA | NA | NA |
| 10 | January, 2026 | NA | NA | NA | NA |
| 11 | February, 2026 | NA | NA | NA | NA |
| 12 | March, 2026 | NA | NA | NA | NA |
| Grand Total | 0 | 0 | 0 | 0 | |
* Inclusive of complaints of previous months resolved in the current month.
# Inclusive of complaints pending as on the last day of the month.
NA – Registration was granted in September 2025; data not applicable for earlier months.
# Inclusive of complaints pending as on the last day of the month.
NA – Registration was granted in September 2025; data not applicable for earlier months.
Trend of Annual Disposal of Complaints
| Sr. No. | Year | Carried forward from previous year | Received | Resolved* | Pending # |
|---|---|---|---|---|---|
| 1 | 2024–2025 | 0 | 0 | 0 | 0 |
| 2 | 2023–2024 | NA | NA | NA | NA |
| 3 | 2022–2023 | NA | NA | NA | NA |
| Grand Total | 0 | 0 | 0 | 0 | |
* Inclusive of complaints of previous years resolved in the current year.
# Inclusive of complaints pending as on the last day of the year.
NA – Registration was granted in September 2025; data not applicable for earlier financial years.
# Inclusive of complaints pending as on the last day of the year.
NA – Registration was granted in September 2025; data not applicable for earlier financial years.
Compliance Audit Disclosure
Disclosure with respect to compliance with Annual compliance audit requirement under Regulation 19(3) of SEBI (Investment Advisers) Regulations, 2013 for last financial years are as under:
| Sr. No. | Financial Year | Compliance Audit Status | Remarks, if any |
|---|---|---|---|
| 1 | FY 2024–25 | Not Conducted | The registration was granted in September, 2025 as per which the Audit for the FY is not applicable. |